Sentences with phrase «through fidelity bonds»

Finally, some brokerages ensure the safety of traders» funds through fidelity bonds placed with insurance companies.

Not exact matches

«The choices you make about your mix of stocks, bonds, and cash should be based on your personal situation, goals, risk tolerance, and timeline, and you should maintain that asset mix through the ups and downs of the market,» explains Ann Dowd, CFP ®, a vice president at Fidelity.

RIAs are eligible to participate in the Program if they represent to Fidelity Investments that they meet the following criteria: (1) RIA is an investment adviser registered and in good standing with the U.S. Securities and Exchange Commission and / or any applicable state securities regulatory authorities or is exempt from such registration; (2) RIA's representatives who provide services to referred clients are appropriately registered / licensed as «Investment Advisers Representatives» in required jurisdictions; (3) RIA charges fee - based, asset - based, or flat - rate investment advisory service fees (which may include hourly fees); (4) RIA will maintain a minimum of $ 350,000,000 in total regulatory assets under management, as reported in response to Item 5 in Part 1A of the RIA's Form ADV, throughout the duration of RIA's participation in the Program; (5) RIA and all associated persons of the RIA who manage client assets or who supervise such associated persons shall at all times be covered through both Errors and Omissions Liability Insurance and Fidelity Bond Coverage; and (6) RIA maintains a minimum of two principals or officers as well as a minimum of five employees.

For other types of individual bonds, you can make your purchase through a brokerage — like E-Trade, Fidelity or Vanguard — but understand that you're buying secondhand.

Here's a few I own: Fidelity Global 2.47 % Trimark Fund A 2.73 % Trimark Canadian Fund A 2.73 % Trimark Cdn Bond Fund 2.73 % Fidelity True North Fund 2.45 % I think these numbers are in line with funds accessible through financial advisors, and if there's a difference I would say it is not in favour of Sun Life.

«The immediate cause of these lower returns is undisputed: Fidelity allocated MIP investments away from higher - return, but higher - risk sectors (e.g., corporate bonds, mortgage pass - throughs, and asset - backed securities) and toward treasuries and other cash - like or shorter duration instruments,» the appellate court wrote in its opinion.

Goldman Sachs specializes in offering foreign bond funds through a limited number of brokers, while Fidelity has focused intensively on Japanese equity and developed a wider pool of distributors.

Goldman Sachs specializes in offering foreign bond funds through a limited number of brokers, while Fidelity has developed a larger number of distributors.